Last Updated: July 2025 (Lone Tree, CO)
William Duffy Investigation Summary
Here’s what you need to know about Lone Tree, CO, stockbroker Will Duffy:
- Name: Mr. William Duffy
- Current Employer: Not currently registered with any FINRA broker dealer
- DBA: Duffy Financial, WD Wealth Strategies, The Duffy Method: How Money Really Works
- Previous Firms: Innovation Partners LLC , Emerson Equity LLC, Accelerated Wealth Advisors, Kingstone Captital Partners, Sharenett Securities, Direct Source Wealth Advisors
- Other Business Affiliations: Abundance Press, Lease Option Solutions, WD Business Services, Vendee RE LLC, Paragon IDF, RLHB 2020 IslandIDF LLC, RLHB 2020 Canyon IDF LLC, Satori PPLI LLC
- Function: Stock Broker/ Registered Investment Advisor
- Aliases: Will Duffy, William Christopher Duffy
- Primary Location: Lone Tree, CO
- CRD 6726333
- Can William Duffy be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement : $225,000
- Four Pending Customer Disputes Seeks Total Damages of $600,000+
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With William Duffy As Your Stockbroker?
There are currently six pending cases filed by customers of prior employer Emerson Equity alleging various claims for sales practice violaitons by Duffy which seek damages in excess of $600,000.
Two customers of Duffy’s former employer Emerson Equity settled FINRA arbitrations alleging that William Duffy was negligent and made an unsuitable recommendations to invest in promissory notes. Settlements of $225,000 and $10100 were paid to resolve those cases.
Allegations of Broker Misconduct Against William Duffy
Customers of William Duffy have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation
- Professional negligence
- Breach of Fiduciary Duty
- Over concentration
- Violation of Best Interest Rule
- Violations of Colorado Securities Act
- Violations of Federal securities lawsViolations of California Elder Abuse Law
- Violations of Washington Securities Act
- Common law fraud
FINRA Rule 2111- suitability -Regulation Best Interest
Information on Elder Financial Abuse
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
See this for information on our other investigations of Emerson Equity stockbrokers.
If you have suffered investment losses in an account handled by William Duffy, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.